Judith Lake is a registered investment advisor at Mma Securities LLC, based in Dallas, TX, with 20 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 8,394 clients.
Compensation
Commission-BasedFixed/Hourly
Firm Size
162 advisors
Number of Clients
8,394 clients
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
MMA Securities offers two services through a subadviser, Empower Advisory Group (EAG):
- In-Plan Advice (Online Advice Service): This service provides online guidance and investment advice, but you implement the recommendations yourself. There is no fee charged directly to plan participants for using this service.
- MMA MyPath (Managed Account Service): This service manages your retirement account for you. Participants in this service pay an annual asset-based fee. The fee covers costs associated with providing the service, including expenses payable to EAG and other service providers. MMA Securities does not retain any portion of this fee.
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Location
8144 Walnut Hill Lane, Floor 15, Dallas, TX, 75231
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Mma Securities LLC
July 2023 - Present · 3 yrs
Mma Securities LLCBroker
November 2017 - Present · 8 yrs 8 mos
Previous Registrations
Guidestone Financial ServicesBroker
October 2010 - July 2016 · 5 yrs 9 mos
Securian Financial Services, INC.Broker
October 2008 - August 2010 · 1 yr 10 mos
Securian Financial Services, INC.
October 2008 - August 2010 · 1 yr 10 mos
MML Investors Services, INC.
July 2006 - December 2008 · 2 yrs 5 mos
MML Investors Services, INC.Broker
March 2005 - December 2008 · 3 yrs 9 mos
Signal Securities, INC.
January 2004 - September 2004 · 8 mos
State Registrations5 states
ARCALAOKTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.